Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Winthrop? Claim Your ProfileWinthrop Harvey has been in the financial services industry since 1985. Winthrop is a registered representative with Raymond James & Associates, Inc. and has been with the firm since September of 2016. Winthrop has a wide range of experience, having previously worked at Deutsche Bank Securities Inc., Tejas Securities Group, Inc., ICBA Securities, Vining Sparks, College & University Securities Corporation, Brokers Transaction Services, Inc., Applied Quantitative Solutions, L.L.C., Spires Financial, L.P., Pinnacle Financial, Inc., Lyn-Hayes Financial, Inc., Sepulveda & Smith Securities, Inc., Arbour Financial Corporation, MMAR Group, Inc., Westcap Government Securities, Inc., and Westcap Securities, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
09/06/2016 - Present
Raymond James & Associates, Inc. (Houston TX)
TX
06/06/2001 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (HOUSTON TX)
TX
11/16/2000 - 06/04/2001
TEJAS SECURITIES GROUP, INC. (AUSTIN TX)
TN
10/07/1998 - 11/28/2000
ICBA SECURITIES (MEMPHIS TN)
TN
07/06/1998 - 11/28/2000
VINING SPARKS (MEMPHIS TN)
TN
10/12/1998 - 10/05/1999
COLLEGE & UNIVERSITY SECURITIES CORPORATION (MEMPHIS TN)
TX
07/29/1997 - 07/08/1998
BROKERS TRANSACTION SERVICES, INC. (DALLAS TX)
TX
10/02/1996 - 08/01/1997
APPLIED QUANTITATIVE SOLUTIONS, L.L.C. (HOUSTON TX)
TX
03/13/1995 - 10/04/1996
SPIRES FINANCIAL, L.P. (HOUSTON TX)
TX
02/22/1995 - 03/13/1995
PINNACLE FINANCIAL, INC. (HOUSTON TX)
TX
06/22/1994 - 02/07/1995
LYN-HAYES FINANCIAL, INC. (HOUSTON TX)
CA
03/15/1994 - 06/27/1994
SEPULVEDA & SMITH SECURITIES, INC. (LONG BEACH CA)
TX
01/12/1994 - 02/17/1994
ARBOUR FINANCIAL CORPORATION (AUSTIN TX)
TX
07/10/1991 - 01/13/1994
MMAR GROUP, INC. (HOUSTON TX)
NA
07/25/1987 - 07/17/1991
WESTCAP GOVERNMENT SECURITIES, INC.
TX
09/24/1985 - 07/17/1991
WESTCAP SECURITIES, INC. (HOUSTON TX)
IA
Issued 10/11/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/13/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/08/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/30/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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